Roger L. Fuller

OMNISTAR FINANCIAL GROUP

Wilmington, NC 28403

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CRD#: 2674665

Professional summary

Roger Lee Fuller, CFP®, who also goes by Roger Lee Fuller Jr, is a registered financial advisor currently at OMNISTAR FINANCIAL GROUP, INC. located in Wilmington, North Carolina.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Roger has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roger Lee Fuller Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Lee Fuller's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

April 9, 2021 - Present

OMNISTAR FINANCIAL GROUP, INC.

Office #1: 1712 Eastwood Road Suite 212, Wilmington, NC 28403

RIA

CRD#: 19616

CHARLOTTE, NC

Past

December 19, 1995 - June 15, 2002

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OMNISTAR FINANCIAL GROUP, INC.

NORTH STAR FINANCIAL GROUP | OMNISTAR FINANCIAL GROUP, INC. | OMNISTAR FINANCIAL GROUP | OMNI STAR FINANCIAL GROUP, INC. | NORTH STAR FINANCIAL GROUP, INC.

CRD#: 138515 / SEC#: 801-107868

RIA

Registered Investment Advisory firm - (6/3/2016 Approved)

North Carolina

Registered Investment Advisory firm - (6/13/2016 Terminated)

South Carolina

Registered Investment Advisory firm - (6/13/2016 Terminated)

Texas

Registered Investment Advisory firm - (6/13/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(4/9/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/15/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/1/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/4/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/18/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/25/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/25/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

OMNISTAR FINANCIAL GROUP, INC.

NORTH STAR FINANCIAL GROUP | OMNISTAR FINANCIAL GROUP, INC. | OMNISTAR FINANCIAL GROUP | OMNI STAR FINANCIAL GROUP, INC. | NORTH STAR FINANCIAL GROUP, INC.

CRD#: 138515 / SEC#: 801-107868

RIA

Registered Investment Advisory firm - (6/3/2016 Approved)

North Carolina

Registered Investment Advisory firm - (6/13/2016 Terminated)

South Carolina

Registered Investment Advisory firm - (6/13/2016 Terminated)

Texas

Registered Investment Advisory firm - (6/13/2016 Terminated)

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Contact information

Main Address

1712 Eastwood Road Suite 212, Wilmington, NC 28403

Mailing Address

Phone number

(910) 319-7834

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OMNISTAR FINANCIAL GROUP PART 2 DISCLOSURE BROCHURE (2/10/2025)

Regulatory assets under management

Total Number of Accounts	963
AUM (Assets Under Management)	$ 228,789,377

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Roger L. Fuller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Lee Fuller's CRS (Customer Relationship Summary).

Certified licenses

Experience

OMNISTAR FINANCIAL GROUP, INC.

TRIAD ADVISORS LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

STANFORD GROUP COMPANY

STANFORD GROUP COMPANY

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WACHOVIA SECURITIES, INC.

Primary Firm SEC Registration

OMNISTAR FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/15/2002

Series 63

Date: 2/1/1996

SIE

Date: 5/4/2015

Series 7

Date: 12/18/1995

Series 10

Date: 8/25/2000

Series 9

Date: 8/25/2000

Current Firm

OMNISTAR FINANCIAL GROUP, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OMNISTAR FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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